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March 8, 2023
This Hot TopICS seeks to provide a high-level reminder of requirements in relation to Close Links notifications and the Change in Control (CiC) process, as these are both areas which prompt regular questions from firms.
Unlike changes in control, changes to close links do not require an application or notification to the FCA.
For changes in control, firms should notify (and if appropriate discuss with) the FCA, at the earliest opportunity, any prospective changes of which it is aware in controllers’ or proposed controllers’ shareholdings or voting power.
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